Senior Compliance Officer/Risk Analyst
Toronto, Ontario, Canada
4d ago
source : CareerBuilder, LLC

Senior Compliance Officer (SCO)

On behalf of our client in the Banking Sector, PROCOM is looking for a Senior Compliance Officer (SCO).

Senior Compliance Officer (SCO) Job Description

  • Reporting to the Senior Manager of the Wealth Compliance Canada Testing Team, the Senior Compliance Officer (SCO) will support the wealth testing and monitoring program.
  • The SCO models strong ethics, integrity and leadership to promote a positive work environment that fosters collaboration, innovation and synergies.
  • The SCO will be responsible for all aspects of assigned testing engagements and monitoring activities.
  • The role requires regular interaction and communication with business personnel.
  • Overall success is measured by timely completion of testing engagements and monitoring activities, the quality of the work performed, and the identification and risk-rating of key process and control gaps identified.
  • Plan and execute compliance testing programs and communicate compliance testing results
  • Identify and document regulatory compliance controls
  • Prepare documentation in accordance with established policies and standards
  • Budget and be responsible for tracking of work efforts versus budgets
  • Develop and execute monitoring activities
  • Provide knowledgeable recommendations to businesses for control improvements
  • Ensure key regulations and key regulatory changes are captured in assigned testing programs
  • Participate in business initiatives as assigned
  • Proactively contribute to team processes and projects
  • Seek process improvements and more efficient ways to deliver value to our businesses
  • Lead testing engagements and review the work of other testers
  • Senior Compliance Officer (SCO) Mandatory Skills

  • 4+ years Risk Analyst experience
  • Experience with significant controls testing / Audit experience
  • Experience with Audit or Compliance testing
  • Able to read & interpret regulations & understand how they impact business partners
  • Exceptional communication skills (able to draft superior quality analyses)
  • Accounting designation (i.e. CPA, CA) or Audit Designation (CIA)
  • Ability to work independently, apply critical and strategic thinking to issues and make timely decisions
  • Strong problem-solving skills and ability to recommend value-added solutions
  • Strong relationship management skills and ability to work effectively within both enterprise and business level project groups
  • Strong collaborative skills and experience partnering with business units
  • Ability to manage multiple deadlines and priorities
  • Senior Compliance Officer (SCO) Nice to Have Skills

  • Experience from financial industry, (Compliance & Wealth)
  • CSC / CPH and other relevant industry courses
  • Senior Compliance Officer (SCO) - Assignment Start Date

    ASAP 3 months to start

    Senior Compliance Officer (SCO) - Assignment Location

    Downtown Toronto

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